Search Result

81 - 100 of 1156 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

SYSC 4.7

As Published: 2015

SYSC 4.7

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

SUP App 2.7 Capital resources below the level of individual capital guidance

As Published: 2006

SUP App 2.7 Capital resources below the level of individual capital guidance

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions